The securities and investment fraud law firm of Israels & Neuman is currently investigating allegations made against VALIC Financial Advisors, a Houston, Texas-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against this firm, making allegations that it failed to adequately supervise issues related to variable annuities. FINRA alleged that…
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Kenneth Judd, Formerly with Valkyrie Equities, Barred from Securities Industry FARMERS BRANCH, TEXAS Did you invest with financial advisor Kenneth Judd in Farmers Branch, Texas? Our securities arbitration law firm is looking into claims made against this advisor, who previously worked for Valkyrie Equities. He was expelled from the securities brokerage industry by FINRA after…
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Rajesh Markan, Formerly with Merrill Lynch, Barred by FINRA from Securities Industry DALLAS, TEXAS Did you invest with financial advisor Rajesh Markan in Dallas, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Rajesh Markan, who previously worked with Merrill Lynch from 2009 to October 2022, and…
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Former KMS Financial Advisor Debra Mae Carter Sentenced to Prison WEATHERFORD, TEXAS Did you invest with Debra Mae Carter in Weatherford, Texas? She previously worked with KMS Financial, and was recently sentenced to life in prison for her role in William “Doc” Gallagher’s Ponzi scheme. Over $30 million was stolen from victims in Gallagher’s scheme.…
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Ameriprise Financial Fires Advisor Eric Anthony Dupre SAN ANTONIO, TEXAS Are you a former customer of financial advisor Eric Anthony Dupre from San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. He was fired by Ameriprise Financial Services in March 2024. Ameriprise terminated…
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Reuben Brown Formerly with Edward Jones Barred by FINRA SOUTHLAKE, TEXAS Did you invest with advisor Reuben Brown of Edward Jones in Southlake, Texas? After he failed to respond to a FINRA inquiry, he was barred from the securities industry pursuant to FINRA Rule 8210. This rule generally provides that financial advisors must respond to…
Continue reading ›Leslie Jackson, Formerly with Momentum Independent Network, Barred from Securities Industry DALLAS, TEXAS Have you invested with stockbroker Leslie Jackson also known as Les Don Jackson in Dallas, Texas? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Leslie Jackson, formerly with Momentum Independent Network. FINRA’s Disciplinary…
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DALLAS, TEXAS We are investigating allegations made by FINRA, the FINRA, the Financial Industry Regulatory Authority, against Eric Carl Willer. FINRA suspended Willer from the securities industry for nine months. It was alleged that Willer recommended to 13 potential investors to purchase bonds in two private placements without having a reasonable basis to believe that…
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